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Insight
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March 25, 2021

Form U5 Defamation Claims on the Rise at FINRA: Be Prepared!

Form U5 defamation cases are on the rise, with a reported 24% increase over the filing period from 2019 to 2020. Firms should take certain proactive steps to fully understand their duties, reduce risk, and avoid costly litigation.

Insight
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August 6, 2020

The FDIC Again Loosens Restrictions on Hiring Bank Personnel with Criminal Histories

On July 24, 2020, the FDIC published a Final Rule regarding Section 19 of the Federal Deposit Insurance Act, 12 U.S.C. § 1829 (“Section 19”), which restricts hiring at FDIC-insured depository institutions, such as FDIC member banks.

Insight
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January 21, 2016

FINRA Members Subject to New Background Screening Rules

FINRA member institutions should become familiar with new background screening rules.